Spring Regulatory & Compliance Webcast

Event Details

  • Date: Wednesday, May 27th, 2020
  • Time: 1:00 – 5:00 PM ET (virtual networking reception to follow)
  • LocationVirtual event platform
    • Please Note: Attendees will not be required to join via a video-conferencing application. The event will be live-streaming on a browser-based web page.   
  • Cost:
    • PMAC Member/Affiliate: $100 + tax
    • Non-Member/Non-Affiliate: $150 + tax
      **A portion of the proceeds will be donated to Food Banks Canada’s Covid-19 Response Fund.  

Event Overview

View the event agenda here

Hear from industry leaders, senior members and experts during this half-day webinar covering timely sessions on emerging compliance issues and regulatory priorities.

PMAC will apply to have this event accredited by the law societies of BC, Alberta, Quebec and Ontario.

Session Teasers

Regulatory Update – In this moderated session, senior staff from the Autorité des marches financiers (AMF), the Ontario Securities Commission (OSC) and the British Columbia Securities Commission (BCSC) will update PMAC members on recent regulatory relief and expectations arising out of the COVID-19 pandemic, as well as on guidance, current consultations, regulatory audit findings, and priorities.

Moderator:

John Black, Partner, Osler, Hoskin & Harcourt LLP

Panelists:

Jacinthe Des Marchais, Acting Senior Director of Investment Funds, AMF
Janice Leung, Manager, Adviser and Investment Fund Manager Compliance Team, BCSC
Elizabeth Topp, Manager, Compliance and Registrant Regulation, OSC

Client Focused Reforms – 3 separate presentations

  1. A practical discussion about the substance and implementation of enhanced KYC, KYP and Suitability obligations under the Client Focused Reforms
    Speaker: Jason Brooks, Partner, Borden Ladner Gervais LLP
  2. This session will focus on the Conflicts of Interest and title reform aspects of the Client Focused Reforms
    Speaker: Élise Renaud, Partner, Fasken Martineau DuMoulin LLP
  3. The last of our three CFR sessions will focus on client communication, including marketing and relationship disclosure obligations
    Speaker: Sonia Struthers, Partner, McCarthy Tétrault LLP

COVID-19 Breakout Sessions: Moderated break-out sessions for firms of varying AUMs to discuss the impact of COVID-19 and market turbulence on compliance, client service, disclosure and more.

Speakers: 

Session 1: Small to Mid-size firm issues – Kevin Cohen, CEO | AUM Law, Dona Eull-Schultz, SVP & PM | Cardinal Capital Management, Adam Payne, Wealth Counsellor & Compliance Office | Kinsted Wealth, Shandi Tocheri, Manager Client Services | Coleford Investment Management Ltd, Marc Trottier, Co-managing Director, PM & CCO | Coerente Capital Management Inc. and Chris von Boetticher, Senior Legal Counsel | AUM Law.

Session 2: Large firm issues – Brad Beuttenmiller, SVP, Chief Counsel, Corporate Secretary | Franklin Templeton Investments Corp, Rebecca Cowdery, Partner | Borden Ladner Gervais LLP, Jacqueline Hatherly, VP & Director, Risk & Policy Governance | TD Asset Management and Michal Pomotov, General Counsel & CCO | Beutel, Goodman & Company Ltd.

 


Thank you to Our Sponsors

 

 

 


Event Registration

Should you need assistance with registering, please contact Gillian Murch at gmurch@pmac.org.

Cancellation Policy

We understand that unexpected circumstances may force a registrant to cancel. Cancellations must be received in writing via email to Gillian Murch at gmurch@pmac.org on or by May 25, 2020.  Substitutions may be made at any time, in writing, at no additional fee. If you register for the Forum and do not attend, you are responsible for the full registration fee.

Please Note: Due to the Covid restrictions we are unable to receive cheque payments for registration. Credit-card payment is required at time of registration.

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